John C. Mccloskey

ASHTON THOMAS PRIVATE WEALTH

COLORADO SPRINGS, CO 80920

Some features on this profile are disabled

CRD#: 5332354

Professional summary

John Christopher Mccloskey is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Colorado Springs, Colorado and M. S. HOWELLS & CO. located in Colorado Springs, Colorado.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 2/2023 Ashton Thomas Private Wealth, Scottsdale, AZ; Investment related; investment advisor; managing wealth advisor; managing client portfolios. Devote 160 hours per month and during market hours 2. 2/2023 Ashton Thomas insurance Agency, Scottsdale, AZ non-investment related; life Insurance sales; life insurance agent; devote 15 hours per month and 10 hours during market hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Christopher Mccloskey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 16, 2023 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 1155 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920

RIA

CRD#: 153902

COLORADO SPRINGS, CO

Current

February 21, 2023 - Present

M. S. HOWELLS & CO.

Office #1: 1975 Research Parkway Suite 135, Colorado Springs, CO 80920

CRD#: 104100

COLORADO SPRINGS, CO

Past

March 12, 2020 - February 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLORADO SPRINGS, CO

Past

March 12, 2020 - February 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLORADO SPRINGS, CO

Past

January 3, 2011 - January 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENWOOD VILLAGE, CO

Past

January 3, 2011 - January 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENWOOD VILLAGE, CO

Past

October 29, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

DENVER, CO

Past

October 29, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

DENVER, CO

Past

September 15, 2010 - September 15, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

July 23, 2010 - September 14, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

July 23, 2010 - September 15, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DENVER, CO

Past

August 15, 2007 - July 26, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

HOUSTON, TX

Past

July 11, 2007 - July 26, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arizona
(2/17/2023)

Arizona
(2/21/2023)

California
(2/21/2023)

IAR

Colorado
(2/16/2023)

Colorado
(2/21/2023)

Florida
(2/21/2023)

IAR

Florida
(2/24/2023)

Idaho
(2/21/2023)

IAR

Louisiana
(9/22/2025)

New Mexico
(3/21/2023)

North Carolina
(2/21/2023)

South Carolina
(2/21/2023)

IAR

Texas
(2/16/2023)

Virginia
(2/21/2023)

Washington
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/19/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/1/2013

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Tara Seegers

COMMONWEALTH FINANCIAL NETWORK

IAR

Colorado Spring, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John C. Mccloskey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Christopher Mccloskey's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2007

Series 10

Date: 2/19/2013

Series 9

Date: 2/1/2013

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

Similar Advisors